0001104659-20-040660.txt : 20200330
0001104659-20-040660.hdr.sgml : 20200330
20200330194301
ACCESSION NUMBER: 0001104659-20-040660
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200326
FILED AS OF DATE: 20200330
DATE AS OF CHANGE: 20200330
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARES MANAGEMENT LLC
CENTRAL INDEX KEY: 0001259313
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759094
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-201-4100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Management Holdings L.P.
CENTRAL INDEX KEY: 0001536937
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759095
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FL
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310.201.4100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FL
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER NAME:
FORMER CONFORMED NAME: Ares Management Holdings LLC
DATE OF NAME CHANGE: 20111212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Holdco LLC
CENTRAL INDEX KEY: 0001669983
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759096
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 3102014100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Holdings Inc.
CENTRAL INDEX KEY: 0001620317
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759097
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-201-4100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Management Corp
CENTRAL INDEX KEY: 0001176948
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759098
BUSINESS ADDRESS:
STREET 1: 2000 AVE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 3102014100
MAIL ADDRESS:
STREET 1: 2000 AVE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER NAME:
FORMER CONFORMED NAME: ARES MANAGEMENT LP
DATE OF NAME CHANGE: 20020701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Management GP LLC
CENTRAL INDEX KEY: 0001620264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759099
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-201-4100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Voting LLC
CENTRAL INDEX KEY: 0001761656
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759100
BUSINESS ADDRESS:
STREET 1: C/O ARES MGMT, 2000 AVE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-201-4100
MAIL ADDRESS:
STREET 1: C/O ARES MGMT, 2000 AVE OF THE STARS
STREET 2: 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ares Partners Holdco LLC
CENTRAL INDEX KEY: 0001620263
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37796
FILM NUMBER: 20759101
BUSINESS ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-201-4100
MAIL ADDRESS:
STREET 1: 2000 AVENUE OF THE STARS, 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Infrastructure & Energy Alternatives, Inc.
CENTRAL INDEX KEY: 0001652362
STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770]
IRS NUMBER: 474787177
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6325 DIGITAL WAY
STREET 2: SUITE 460
CITY: INDIANAPOLIS
STATE: IN
ZIP: 46278
BUSINESS PHONE: (765) 828-2580
MAIL ADDRESS:
STREET 1: 6325 DIGITAL WAY
STREET 2: SUITE 460
CITY: INDIANAPOLIS
STATE: IN
ZIP: 46278
FORMER COMPANY:
FORMER CONFORMED NAME: M III Acquisition Corp.
DATE OF NAME CHANGE: 20150902
4
1
a4.xml
4
X0306
4
2020-03-26
0
0001652362
Infrastructure & Energy Alternatives, Inc.
IEA
0001259313
ARES MANAGEMENT LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001536937
Ares Management Holdings L.P.
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001669983
Ares Holdco LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001620317
Ares Holdings Inc.
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001176948
Ares Management Corp
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001620264
Ares Management GP LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001761656
Ares Voting LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
0001620263
Ares Partners Holdco LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES
CA
90067
1
0
1
0
Common Stock, $0.0001 par value per share
2020-03-26
4
A
0
40135
0
A
40135
D
Represents 40,135 restricted stock units granted to Matthew Underwood, Principal at Ares Management LLC, as a director of Infrastructure and Energy Alternatives, Inc. (the "Issuer"). Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of the restricted stock units will occur on March 26, 2021, the first anniversary of the grant date.
Ares Management LLC, on behalf of its affiliated funds, investment vehicles and/or managed accounts, designated Mr. Underwood to be appointed to the Issuer's board of directors on March 10, 2020. Pursuant to an agreement between Ares Management LLC and Mr. Underwood, Mr. Underwood has agreed to pay Ares Management LLC all of his director compensation, and has instructed the Issuer to pay all such compensation directly to Ares Management LLC. Accordingly, Ares Management LLC is the direct holder of the 40,135 restricted stock units granted to Mr. Underwood on March 26, 2020. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings").
The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. (continued in footnote 4)
The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners" and together with Ares Voting, Ares Management GP, Ares Management, Ares Holdings, Ares Holdco, Ares Management Holdings and Ares Management LLC, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 5)
Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.
Ares Management LLC, on behalf of its affiliated funds, investment vehicles and/or managed accounts, designated Matthew Underwood to be appointed to the board of directors of the Issuer, and Mr. Underwood became a director effective March 10, 2020. Accordingly, the Reporting Persons listed hereon may be deemed to be a director by deputization for purposes of Section 16 of the Securities and Exchange Act of 1934.
ARES MANAGEMENT LLC By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES MANAGEMENT HOLDINGS L.P. By: ARES HOLDCO LLC Its: General Partner By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES HOLDCO LLC By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES HOLDINGS INC. By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES MANAGEMENT CORPORATION By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES VOTING LLC By: ARES PARTNERS HOLDCO LLC Its: Sole Member By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES MANAGEMENT GP LLC By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30
ARES PARTNERS HOLDCO LLC By: Naseem Sagati Aghili Its: Authorized Signatory
2020-03-30